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COMMITTEE ON STANDARDS OF ATTORNEY CONDUCT

PROPOSED NEW YORK RULES OF PROFESSIONAL CONDUCT

Table of Contents

(All links lead to PDF documents, which will open in new windows; page numbers corresponding to the print version of this report are given in parentheses.)

Introduction (i)

Adoption of the Model Rules Format in New York (ii)

The Work of the Committee (vii)

Structure of the Report (xi)

Executive Summary (xiii)

Biographical Sketches of Committee Members (xxvii)

Proposed New York Rules of Professional Conduct

Preamble and Scope (1)

Rule 1.0 – Terminology (6)

Client-Lawyer Relationship

Rule 1.1 – Competence (15)

Rule 1.2 – Scope of Representation and Allocation of Authority Between Client and Lawyer (20)

Rule 1.3 – Diligence (28)

Rule 1.4 – Communication (33)

Rule 1.5 – Fees and Division of Fees (40)

Rule 1.6 – Confidentiality of Information (52)

Rule 1.7 – Conflict of Interest: Current Clients (68)

Rule 1.8 – Current Clients: Special Conflict of Interest Rules (92)

Rule 1.9 – Duties to Former Clients (133)

Rule 1.10 – Imputation of Conflicts of Interest (138)

Rule 1.11 – Special Conflicts of Interest for Former and Current Government Officers and Employees (159)

Rule 1.12 – Former Judge, Arbitrator, Mediator or Other Third-Party Neutral (181)

Rule 1.13 – Organization as Client (190)

Rule 1.14 – Client With Diminished Capacity (201)

Rule 1.15 – Preserving Identity of Funds and Property of Others; Fiduciary Responsibility; Commingling and Misappropriation of Client Funds or Property; Maintenance of Bank Accounts; Recordkeeping; Examination of Records (207)

Rule 1.16 – Declining or Terminating Representation (219)

Rule 1.17 – Sale of Law Practice (228)

Rule 1.18 – Duties to Prospective Clients (238)

Counselor

Rule 2.1 – Advisor (244)

Rule 2.2 – [Reserved] (249)

Rule 2.3 – Evaluation for Use by Third Persons (250)

Rule 2.4 – Lawyer Serving as Third-Party Neutral (255)

Advocate

Rule 3.1 – Meritorious Claims and Contentions (259)

Rule 3.2 – Delay of Litigation (263)

Rule 3.3 – Candor Toward the Tribunal (265)

Rule 3.4 – Fairness to Opposing Party and Counsel (278)

Rule 3.5 – Impartiality of Judges and Jurors (286)

Rule 3.6 – Trial Publicity (292)

Rule 3.7 – Lawyer as Witness (301)

Rule 3.8 – Special Responsibilities of Prosecutors (308)

Rule 3.9 – Advocate in Nonadjudicative Proceedings (316)

Transactions with Persons Other Than Clients

Rule 4.1 – Truthfulness in Statements to Others (319)

Rule 4.2 – Communication with Person Represented by Counsel (324)

Rule 4.3 – Dealing with Unrepresented Person  (333)

Rule 4.4 – Respect for Rights of Third Persons (336)

Law Firms and Associations

Rule 5.1 – Responsibilities of Law Firms, Partners, Managers and Supervisory Lawyers (341)

Rule 5.2 – Responsibilities of a Subordinate Lawyer (348)

Rule 5.3 – Responsibilities for Non-Lawyers (350)

Rule 5.4 – Professional Independence of a Lawyer (355)

Rule 5.5 – Unauthorized Practice of Law; Multijurisdictional Practice of Law (361)

Rule 5.6 – Restrictions on Right to Practice (370)

Rule 5.7 – Responsibilities Regarding Non-Legal Services (374)

Rule 5.8 – Contractual Relationships with Non-Legal Professionals (384)

Public Service

Rule 6.1 – Voluntary Pro Bono Service (393)

Rule 6.2 – Accepting Appointments (400)

Rule 6.3 – Membership in a Legal Services Organization (403)

Rule 6.4 – Law Reform Activities Affecting Client Interests (406)

Rule 6.5 – Participation in Limited Legal Services Programs (408)

Information About Legal Services

Rule 7.1 – Communications Concerning a Lawyer’s Services (413)

Rule 7.2 – Payment for Referrals (424)

Rule 7.3 – Direct Contact with Prospective Clients (430)

Rule 7.4 – Identification of Practice and Specialty (442)

Rule 7.5 – Firm Names and Letterheads (446)

Rule 7.6 – Political Contributions to Obtain Government Legal Engagements or Appointments by Judges (451)

Maintaining the Integrity of the Profession

Rule 8.1 – Truthfulness in Bar Admission Matters (456)

Rule 8.2 – Judicial Officers (460)

Rule 8.3 – Reporting Professional Misconduct (464)

Rule 8.4 – Misconduct (469)

Rule 8.5 – Disciplinary Authority and Choice of Law (475)

Appendix (Correlation Table)